REQUIRED CLIENT DATA

Last Name

First Name

Last Name & First Name

Maiden Name

Date of Birth

Place of Birth

Citizenship:

Street

Postal Code, City:

Full Address (street, number, post number, city)

Marital Status

Highest Level of Post-Secondary Education

Number of Dependents

Occupation / Relevant Former Occupation

E-Mail

Phone Number

Taxnumber

EMŠO

Type of Identity

ID Number

Issuing Authority

Issuing country

Date of issuance

Validity Date

Place, Date

Bank data for deposit purposes(*bank account owner must be the same person as the client)

Bank name

IBAN

Deposit amount and currency

Employment status and employer information

Employer name

Employer street

Employer address

Employer postal number

Economic sector

Position

Self-employed Employed Retired Student Unemployed

Identification card Passport

Mr. Ms. Miss.Title

Identification pursuant to the German Money-Laundering Act (”Legitimation form“)

Due to legal requirements for the prevention of money laundering (§2 section 1 German money-laundering act in conjunction with §154 section 2 German tax code) we are obligated to check the Client's identity in the account opening process./

Identificated person / Client

Mr.1 Ms.1

First name / Last name

Street

Postal code, Place

Date of birth

Place of birth

Identification card1 Passport1

Identification number

Issuing agency

Issuing country

Date of issuance

End of validity

Place, Date Signature Client

SWQ02 – Legitimation form – Last Updated 24/08/2012 1 / 2

Mrs.1

Please attach a copy of your identification card or passport.

1 Please check if appropriate!

Identification remark through legitimating office

We hereby confirm that the Client identified himself/herself personally by means of a passport or identification card.

Data for legitimation proved by CM-Equity AG:

Name of agent

Phone number of agent

Place, Date Signature Agent / Business Stamp

Please attach a copy of your identification card or passport.

SWQ02 – Legitimation form – Last Updated 24/08/2012 2 / 2

CM 01a – Brokerage Agreement – Last Updated 01/01/2018 1

Brokerage Agreement

CM-Equity AG ("Company") is registered at the German financial supervisory authority (BaFin) as investment and contract broker and subject to German supervisory provisions. The contract partner that will process and execute orders on the expense and risk of the client ("Client") through the trading platform is Interactive Brokers (U.K.) Limited, branch in Switzerland, Gotthardstraße 3, 6301 Zug (“Institute Servicing the Account” or “Servicing Institute”). The Company will offer assistance to the Client with the account opening procedure and shall provide general information (if requested) on trading procedures and products to the Client. The Company acts as introducing broker to the Institute Servicing the Account. The Company is in possession of all official licenses required to provide its services but offers no investment advice. OptimTrader is an exclusive online service by the Company and is directed only at experienced clients with sufficient expertise. Information on the financial instruments is standardized and does not take into account the personal circumstances of the Client. Please read the General Terms and Conditions of the Institute Servicing the Account, which are subject to UK jurisdiction as is the entire legal relationship to the Institute Servicing the Account. The Terms and Conditions govern the entire relationship between the Client and the Institute Servicing the Account.

Information pursuant to § 63 section 10 and 11 German Securities Trading Act, Art. 55,56 DV (EU) 2017/565 and Art. 25 (3) MiFID II: As an investment service company, we are obligated to request information from our clients about their experience or knowledge in the investment field. This is necessary in order to determine whether the intended venture is appropriate. Should the information be incomplete, we are not permitted to provide any support within the scope of investment advisory services or financial portfolio management. In addition, should the information be incomplete, we cannot assess the adequacy of the venture. Full disclosure of relevant information is in the Client’s best interest, and should there be any subsequent changes, please inform us immediately.

1. General Client Information

Highest level of post-secondary education /

* Please provide an e-mail address that may be used for communication and information purposes pursuant to this contract. To the extent admissibleunder applicable law, all and any communication with the Client may be carried out via e-mail by using the e-mail address provided by the Client.

Marital status Occupation / relevant former profession

Last name First name Date of birth

Place of birth Maiden name

0

Number of dependents

Phone number E-mail*

Address

Possible upcoming changes in your personal, family or professional field

Self-employed Employee Retired Student Unemployed

CM 01a – Brokerage Agreement – Last Updated 01/01/2018 2

2. Knowledge and experience

Type of investment Theoretical knowledge? experience?

For how many years? Approximate number per year

Approximate value (€) per year

Stocks yes

no

yes

no

Futures and Forward transactions

(Futures/Options), yes

yes

Forex, CFDs no no

Fixed-income securities yes

no

yes

no

Equity / balanced funds yes

no

yes

no

Pension fund yes

no

yes

no

less than 1 year

1 - 5 years

5 - 10 years

10 - 15 years

more than 15 years

less than 1 year

1 - 5 years

5 - 10 years

10 - 15 years

more than 15 years

less than 1 year

1 - 5 years

5 - 10 years

10 - 15 years

more than 15 years

less than 1 year

1 - 5 years

5 - 10 years

10 - 15 years

more than 15 years

less than 1 year

1 - 5 years

5 - 10 years

10 - 15 years

more than 15 years

Practical

CM 01a – Brokerage Agreement – Last Updated 01/01/2018 3

Type of investment Theoretical knowledge?

Practical experience?

For how many years? Approximate number per year

Approximate value (€) per year

Certificates / yes

no

yes

no

Foreign investments yes

no

yes

no

Other Investments (company invest-

ments such as private equity, media

funds, closed-end funds) /

yes

no

yes

no

Which investment services have you taken in the past?

Investment brokerage / non-advisory order execution

Investment Advice

Asset management

None

Are you aware that the investments mentioned in the above table involve enormous risks (e.g. stocks, Futures, CFDs etc.) as described in the particular risk disclosures named in Company’s General Terms and Conditions, and that therefore you should only invest designated risk capital?

Are you aware of the costs and associated risks, as described in the particular risk disclosures named in Company’s General Terms and Conditions?

Are you aware that by investing in CFDs or foreign exchange, as described in the General and Information and Risk Disclosure for Forex Trading, Interactive Brokers may be your counterparty and that no dealings are transacted on an exchange, and that therefore you are dependent on the credit rating of the counterparty?

yes / da

no / ne

yes / da

no / ne

yes / da

no / ne

The Client confirms that the information provided above are true and complete.

Place, Date Client CM-Equity AG

less than 1 year

1 - 5 years

5 - 10 years

10 - 15 years

more than 15 years

less than 1 year

1 - 5 years

5 - 10 years

10 - 15 years

more than 15 years

less than 1 year

1 - 5 years

5 - 10 years

10 - 15 years

more than 15 years

CM 01a – Brokerage Agreement – Last Updated 01/01/2018 4

3. Authorization, No Order Transmission and Disclosure of Commissions

The Client authorizes the Company to prepare the account opening at Interactive Brokers on behalf of the Client and for the account and risk of the Client. This includes the electronic input of the transmitted Client data and the electronic transmission of submitted Client documents (e.g. account application form signed by the Client, copy of Client's ID, proof of address, etc.). The Company is not authorized to obtain ownership or possession of funds or securities of customers.

Aberrant from no. X.4.c., Interactive Brokers Application, the Client agrees that the Company will not accept client orders and will not transmit them to Interactive Brokers for execution. The Client submits orders directly to Interactive Brokers for his account and Interactive Brokers is responsible for executing such orders and clearing executed transactions. The Company does not provide any reporting to the client.

The following list contains a summary of the benefits ("Commission") paid out to CM-Equity AG by Interactive Brokers. Clients can obtain further information on the Commission on request. Potential incentives based on such payments may cause conflicts of interest. Further details can be found in the Company's Conflict of Interest Policy. The Company receives a Commission from the Institute Servicing the Account based on the transaction costs. Further fees may be applicable. All Commissions and fees are listed and explained in the Appendix.

4. Taping of telephone calls, electronic and other communication

The Company will tape all telephone calls and electronic communication with the Client without any further notice to the Client.

The Company furthermore automatically tapes all in and outgoing telephone calls with Clients which are not mentioned in Section 2.

The Client consents to the taping and safekeeping of the recorded communication under the above sections 1 to 3 for the period of five years from the time of taping. If legal or regulatory guidelines require a longer safekeeping period, the Client also consents to the relevant longer safekeeping (seven years). The Client can request a copy of the taped communication from the Company during the safekeeping period.

If the Client does not agree with the taping, the Client should immediately notify the Company.

5. Confirmation of the General Terms and Conditions

The Client has received and acknowledges the General Terms and Conditions, and has received the Company Information, Distance Selling Information and Revocation Policy as of November 04, 2014 comprising 15 pages.

6. Confirmation of Linguistic Understanding

I hereby confirm that I fully comprehend the Brokerage Agreement and Appendix documents which I have received in English. I affirm that my linguistic understanding of the English language allows me to fully understand all legal implications of the documents I sign.

Place, Date Client

Place, Date Client

Place, Date Client

Place, Date Client

The Company tapes telephone calls and electronic communication in connection with the execution of customer relations, notably with the provision of financial services which draw to the acceptance, transmission and execution of client orders. The taped communication is kept safe on data storage mediums. If the Client disagrees on the taping, the Company is not allowed to execute any investment services for the Client via phone or electronic communication if this investment services draw to the acceptance, transmission and execution of client orders.